to offer and completion Adhering to internal underwriting policy and regulatory requirements including FCA. Money Laundering, Data Protection...
applying for this role must be aware that it is a Certified Role, subject to the FCA and PRA Certification Regime. The... guidance provided by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety...
customers. Knowledge of FCA / PRA and Lloyds rules and guidelines. Experience Relevant claims handling experience...
of the new funds, and that all regulatory documentation is sent to the FCA within the required time limits. Assisting the... following regulations: AIFMD, MiFID II, SMCR, and obligations set out in the FCA Handbook as they apply to firm. A proactive...
, while also engaging externally with regulatory bodies such as the FCA. Working closely with the Chief Financial Officer, you’ll... (with insurance partners and the FCA) Lead all communication with the FCA, managing correspondence and regulatory interactions...
. Be aware of and comply with the rules and requirements of the Financial Conduct Authority (FCA) and any other legal/regulatory...
within banking. Experience Deep knowledge of UK corporate governance, company law, best practice and regulatory frameworks (FCA...
(Certified Roles) are assessed as fit and proper to carry out their role. Under the guidance provided by the FCA and PRA, firms...
with the ability to identify errors. Appropriate handling of sensitive information Ability to work to FCA DISP deadlines...
Certification Regime. It is therefore subject to the Conduct Rules set by the FCA. An elevated level of integrity and standard...
's corporate governance framework, ensuring compliance with the Companies Act 2006, FCA and PRA regulations, and relevant...